Are you in compliance?

Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.


Status message

Start your free, no obligation 5-day trial to continue exploring with full access.

Current SEC Rules Of Practice

SEC | June 1, 2004

Updated in June 2004, this is a PDF version of the SEC Rules Of Practice. Weighing in at 108 pages, the document includes information on disgorgement rules, initiation of proceedings, and more.

Buy this article for $49, or subscribe to Compliance Week for a month at $149 and get unlimited article access for 30 days.